Form Ds provide information on individual, unregistered securities offerings.
Search by Recipient Name or Primary Issuer:
| Recipient | CRD | Primary Issuer | CIK | Filing Date | Form Type | Total Offering Amount | Total Amount Sold |
|---|---|---|---|---|---|---|---|
| USCA SECURITIES LLC | 103789 | CAIS Kingdon Offshore Ltd. | 1526693 | 10/24/2016 | D/A | Indefinite | $5,305,100 |
| USCA SECURITIES LLC | 103789 | CAIS Kingdon Offshore Ltd. | 1526693 | 10/23/2017 | D/A | Indefinite | $5,305,100 |
| USCA SECURITIES LLC | 103789 | CAIS Kingdon Offshore Ltd. | 1526693 | 06/12/2018 | D/A | Indefinite | $5,305,100 |
| USCA SECURITIES LLC | 103789 | CAIS Kingdon Associates LLC | 1523893 | 07/20/2012 | D/A | Indefinite | $5,180,000 |
| USCA SECURITIES LLC | 103789 | CAIS Kingdon Offshore Ltd. | 1526693 | 09/30/2015 | D/A | Indefinite | $5,105,100 |
| USCA SECURITIES LLC | 103789 | CAIS GoldenTree Partners LLC | 1560555 | 01/10/2014 | D/A | Indefinite | $4,925,000 |
| USCA SECURITIES LLC | 103789 | CAIS Kingdon Offshore Ltd. | 1526693 | 10/02/2014 | D/A | Indefinite | $4,668,600 |
| USCA SECURITIES LLC | 103789 | Saracen Total Return Offshore Income Fund Ltd. | 1771019 | 01/31/2022 | D/A | Indefinite | $4,573,250 |
| USCA SECURITIES LLC | 103789 | CAIS Paulson Advantage Plus LLC | 1523895 | 07/20/2012 | D/A | Indefinite | $4,195,783 |
| USCA SECURITIES LLC | 103789 | CAIS Paulson Advantage Plus LLC | 1523895 | 07/19/2013 | D/A | Indefinite | $4,195,783 |